中国古代小说中的“史传”传统及其历史变迁

【作者】 何悦玲；

【导师】 张新科；

【作者基本信息】 陕西师范大学 ， 中国古代文学， 2011， 博士

【摘要】 本论文以“辨章学术,考镜源流”为进路,旨在探讨中国古代小说中的“史传”传统及其历史变迁。在探讨中,力求从当前认知中的“空白”或“不足”处入手,既注意从宏观层面把握小说与史传“家族相似性”的内在联系与谱系渊源,又注重从微观层面发掘其“相似性”的动态发展演变,以期为理解古代小说的“史传”渊源及其蕴藏的文化精神,提供新的观照视角。全文内容主要由四章组成：第一章旨在探讨古代小说与史传关系认知的历史变迁。汉魏六朝时期,小说与“史”在理论上虽然可以区分,但小说作为“外乘”,尚未获得文体上的独立。唐时,人们“有意为小说”,一方面视小说为“史”之流,认为小说之功能在于“补史”,另一方面则使小说“传奇”、“虚构”的本质特征获得充分的发展。小说作为文体,开始具备自己的独立品格,并企图挣脱“史”的束缚,以本来的面目示人。宋元出现白话小说以来,对二者关系的认知呈现出明显的与“史”的疏离,在“传信”与“传奇”、“以文运事”与“因文生事”的区别及对“奇”的重新阐释和界定中,均隐含着划清二者界线的意图与构设。小说与史传关系认知的变迁过程,恰隐藏着小说发展“去史传化”的蜕变过程,获得主体性的演进过程,本质认知不断深化的发展过程。第二章旨在探讨古代小说“史补”观念生成的文化渊源及其内涵变迁。“史补”意识的发生,既源自对“史”尊“说”卑的文化体认,也来自对史家以“史”存道文化活动的效法,同时隐含着提高小说地位及品位的深刻用心。作为“史”之直接后裔,“纪事实、探物理、辨疑惑、示劝戒、采风俗”之“史补”观几乎贯穿文言小说始终。其于魏晋六朝时期已现端倪,唐至宋元发展为极致,明、清以后则日益走向多元化。白话短篇小说“史补”观主要以“佐经书史传之穷”的面目出现,旨在辅“史”以成教化之功。长篇章回小说中,“史补”观主要体现于历史题材小说领域。辅“史”以演“义”,为其“史补”核心。除此而外,还表现出其他方面的价值追求。无论长篇还是短篇,白话小说“史补”功能的实现,皆以通俗易懂、生动形象的审美特征作为理论前提。“史补”观念的盛行,固然一定程度上延缓了小说本质特征的成熟,但也同时赋予古代小说以美、善兼济的人文特征。第三章旨在探讨古代小说传“奇”的史传渊源及其内涵变迁。小说与“史”,“不尽同而可相通”,“史”之叙事中基于“神道设教”目的对奇闻异事的采撷、基于传“义”目的对“文”的凭借,均对小说的传“奇”提供了丰富的艺术资源。“史”对“奇”的限制性使用,为小说的传“奇”打开了通道,促成了小说传“奇”本质的生成。此中,杂史、杂传创作,具有重要作用。唐人“作意好奇”,以“奇”补“正”成为自觉的艺术追求。传“奇”中,不仅更讲究文采,并出现了“奇”之内容向“人间言动”的转变。宋元以降,对“子不语怪力乱神”的广泛征引及不断阐释,一方面使小说传“奇”的本质得以最终确立,并成为小说与“史”区别的实质所在,另一方面又使小说传“奇”走上了常中见奇、由奇入正、笔下生奇的发展道路。这一历史变迁中,“奇书”、“才子书”的称谓,既蕴涵着对小说传“奇”正脉的追踪,对其思想内容与艺术形式的高度概括,也蕴涵着抬高小说地位的深刻用心。第四章旨在探讨古代小说叙事的《春秋》渊源及其历史变迁。《春秋》既为“经”,亦为“史”。作为经典历史作品,它不仅开启了“史学”新时代,并于价值原则与叙事方法诸方面,给古代小说以深远影响。在古代小说中,不论是以“事”见“义”的叙事目的、以“义”为断的叙事伦理,还是直书其事的见“义”法则、尚“简”用“晦”的审美追求,均来自于对《春秋》的自觉继承。被历代奉为“经”的《春秋》,是操纵古代小说叙事的内在规则,是掌控小说话语的范导性原则,也是深含于中国各类叙事文体中的“元叙事”。以《春秋》为宗的创作意识,至唐代开始明晰,历经宋元以迄明清时代,不断突显,日渐加强。当然,借鉴的维度与强度,由于小说各体式的文化属性不尽相同,其表现也各不一样。其间,体现着古代小说“通变”的文化特征。综上,古代小说与史传既存在谱系上的渊源关系,又有各自的文化品性与艺术疆界。通过小说与史传的“互文”性解读,不仅更能清楚地看出古代小说的“史传”渊源,而且更有助于对其构成因素及内蕴的文化精神作出恰当的理解。更多还原

【Abstract】 This paper wants to explore the tradition and its historical changes in ancient novels by taking "annotating the text and tracking the origin" as a route. Starting from the deficiency and blank of current cognition, the paper expects to provide new culture viewpoint on understanding the historical biography origin of ancient novels and its cultural spirits, both paying attention to the inner connection and genealogy origin of family similarity between ancient novels and historical biography from macroscopic perspective, and taking note of the dynamic development and changes of similarity between them from microscopic perspective.There are four chapters in this paper.Chapter one aims to explore the historical changes of cognition towards relationship between the ancient novels and historical biography. Although the ancient novels can be distinguished from Shi(historical biography) theoretically in Han-Wei and Six Dynasties, it didn’t become an independent style as an outsider. In Tang Dynasty, people intended to make novels. On the one hand the ancient novels were viewed as the branch of Shi (historical biography) and historical supplement was regarded as its function, on the other hand the ancient novels’innate feature of legend and imaginary were well-developed. As an independent style, the ancient novels began to have independent character and intended to be freed of restriction on Shi (historical biography) in order to show its true nature. Since there appeared vernacular novels in Song and Yuan, people began to separate ancient novels from Shi (historical biography) apparently. People implied the intention and design of distinguishing their boundary, in definition and restating the Qi(Oddity) and in making a distinction between "Chuan Xin (recording documentary)" and " Chuan Oi (recording oddity)", "recording historical events with literal method" and "making historical events by literal method" Coincidently, the changing process of understanding the relationship between the ancient novels and historical biography, concealed the fact that the ancient novels’ historical biographic feature was fading, its subject was obtained as well, and its innate quality cognition was gradually deepened, in the evolutionary process in the ancient novels development.Chapter two aims to explore cultural origin and connotation changes of generating the concept of historical supplement in ancient novels. The generating awareness of historical supplement, was both derived from cultural identity of honorable Shi(historical biography) and humble ancient novels, and imitated the cultural activity of historian recording the historical truth by Shi(historical biography), as well as implied the profound thought of improving the class level and tastes of the ancient novels. As a direct descendant of Shi(historical biography), the concept of historical supplement, which is "recording the truth, studying the principle, making out the puzzle, showing persuasion, collecting customs", almost run through the whole classical Chinese novels. This concept appeared in Han-Wei and Six Dynasties, developed perfectly from Tang to Song Yuan, diversified after Ming and Qing. The concept of historical supplement in vernacular short novels mainly showed its appearance of assisting the deficiency of Jing Shu (Confucian classics) and historical biography. It helped the Shi(historical biography) to moralize the world. The concept of historical supplement mainly displayed in historical theme novel domain in long ancient novels in Zhang-hui style. The core of historical supplement was to assist Shi(historical biography) with Yi (demonstrating righteous). Besides, it showed other value pursuits. Based on the theoretical premise of plain and vivid aesthetic characteristics, vernacular novels achieved its function of historical supplement, regardless of long novels or short novels. Although prevalent concept of historical supplement postponed the mature process of novel’s innate feature to some extent, it endowed the ancient novels with humanistic feature of both beauty and goodness.Chapter three aims to explore the historical origin and connotation changes of recording Qi(oddity) in ancient novels. Ancient novels and Shi(historical biography) are closely linked though they are not similar. Based on the purpose of instructing according to the sacred way,Shi(historical biography) collected strange news and intriguing stories in its narration, based on the purpose of recording Yi (righteous),it replied on the Wen(rhetoric), which furnished abundant art resources with recording Qi(oddity) in the ancient novels.Shi(historical biography) limited the usage of Qi(oddity), which opened the channel of recording Qi(oddity) in the ancient novels and promoted the generating innate feature of recording Qi(oddity) in ancient novels. Among them, creation of Zasshi(miscellaneous histories) and Zazhuan(miscellaneous records) played a role of bridge and transition. Tangren (people of the Tang) preferred to record Qi(oddity) deliberately and took updating Zheng(documentary) by Qi(oddity) as their voluntary art pursuit. In recording Qi(oddity), they not only focused on literary grace but also transformed Qi(oddity) contents into ren jian yan dong(human actual words). After Song and Yuan, with zi bu yu guai(the master didn’t say disorder and spirits) widely quoted and constantly explained, on the one hand, the innate feature of recording Qi(oddity) of ancient novels finally established and became the substantive difference between ancient novels and Shi(historical biography), and on the other, recording Qi(oddity) of ancient novels embarked on a development road of chang zhong jian qi(showing oddity among the ordinary), you qi ru zheng(from oddity to documentary), bi xia sheng qi(creating oddity). During this historical changes, the so-called Qi shu(anecdotage) and Cai zi shu(romantic fiction) tracked the history of recording Qi(oddity), and the concise summary of their contents and artistic form implied the intention of driving up the position of the ancient novels.Chapter four aims to explore the origin and historical changes of ancient novel narration the Chunqiu (Spring and Autumn annals). The Chunqiu (Spring and Autumn annals) was both JingConfucian classics) and Shi(historical biography). As an classical history works, it not only opened a new era of shi xue(historiography) but had a profound effect on principle of value and narration method of ancient novels. In ancient novels, regardless of the narrative purpose of showing Yi (righteous) from the events, the narrative ethics of Yi (righteous) for criterion, direct narration of rule of showing Yi (righteous), or the aesthetic pursuit of simple and politely, they were all inherited voluntarily from the Chunqiu (Spring and Autumn annals). Respected as Jing(Confucian classics) through the ages, the Chunqiu (Spring and Autumn annals) was inner principle of controlling the ancient novel narration, the demonstrative principle of controlling novel discourse method and the meta-narration implied in all kinds of narrative styles in Chinese literature. The creation awareness following the Chunqiu (Spring and Autumn annals), appeared in Tang, stood out and reinforced from Song Yuan to Ming Qing. Of course, the dimension and strength of utilization was different because of the different cultural feature of different styles of novels. The process showed the cultural features of change in ancient novels.In sum, ancient novels and historical biography not only have the relationship of genealogy origin, but also have their own specific cultural traits and art boundary. By unscrambling the iner-texuality of ancient novels and historical biography, not only the origin of historical biography of ancient novels can be clearly displayed, but also its constituent elements and inner cultural spirits can be well understood.更多还原